Broker-Dealers

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Cetera CEO Roth Resigns From RCS Capital Board Of Directors

by FA Staff

Larry Roth, CEO of Cetera Financial Group, has resigned from the board of directors of his firm’s parent company, RCS Capital Group.

How Donald Trump Is Winning Over Anti-Wall Street Republicans

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A whopping 65 percent of Republican front-runner Donald Trump's supporters say they're "unsatisfied" or "mad as hell" at Wall Street, according to a new poll.

Brokers Fume As U.S. Looks To Protect Investors From Expensive Duds

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Many brokers are fuming over a proposed U.S. Department of Labor rule that would block them from selling any investment into a retirement account in return for a commission.

Blackrock To Acquire Robo-Advisor

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The firm hopes to use the robo-advisor to enable banks, brokerage firms, insurers and 401(k) plans to use the company's digital platform to serve mass affluent investors and millennials.

Regulator: Broker-Dealer Audits Are Unacceptably Faulty

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The Public Company Accounting Oversight Board charged that deficiencies in the audits of broker-dealers were intolerably high.

A How-To Guide For Opening Your Own Wealth Management Firm

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Several independent investment advisors, many of them former brokers, give their advice on opening an independent firm.

Ameriprise Rated Top In Retirement Plan Quality By Affluent Near-Retirees

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Hearts & Wallets has rated Ameriprise tops in retirement income plan quality for near-retirees working with full-service firms.

Finra’s BrokerCheck Could Become Standard On B-D, Registered Rep Websites

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Links to Finra BrokerCheck reports may soon be required for the websites of broker-dealers, registered reps and branch offices.

Cetera To Shut Down J.P. Turner B-D

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Cetera Financial Group will be shutting down J.P. Turner, its Atlanta-based broker-dealer acquired in June 2014.

Lights, Camera, Action!

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Videos increasingly are becoming an effective marketing tool for advisors.

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